SEC
Whistleblower
Attorneys

January 29, 2019

Daniel H. Glick, Financial Management Strategies Inc.

Financial Fraud

SANCTION AMOUNT: $1044270

Defendants: Financial Management Strategies Inc.
Daniel H. Glick

Case based on the fraud of Defendants, a purported investment adviser and his unregistered investment advisory firm, in misappropriating millions from elderly investors using false account statements, etc. The adviser was criminally convicted. This qualifying sanction was recovered from a relief Defendant.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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